With consecutive court rulings putting a hold on the Department of Labor’s (DOL) Retirement Security rule, wealth industry professionals find themselves facing a period of uncertainty.
While the rule was broadly aligned with the requirements of Regulation Best Interest (Reg BI), the Advisers Act of 1940, along with PTE 2020-02, many wealth advisers face key decisions surrounding the evolution of their compliance programs.
This webinar features industry leaders from Faegre Drinker, Alphastar Capital Management and Confluence provide an insightful dialogue on:
- DOL’s policies that still remain valid for wealth industry professionals.
- Best practices in ensuring wealth advisers remain compliant, despite regulatory uncertainty.
- Exploring industry leadership opportunities amidst the period of uncertainty.